PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:41 AM ET

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JAMES E. DUFFY

Named as an officer, director or promoter on SEC Form D filings · CA · Feb 4, 2010 → Sep 21, 2012

1deal (issuers)
$675Kreported sold
11investors
6Form D filings
2010–2012years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

JAMES E. DUFFY is listed as an executive officer and director on 6 SEC Form D filings by 1 issuer between Feb 2010 and Sep 2012: STREAMWORKS PRODUCTS GROUP, INC. (Stockton, CA — manufacturing — 2010–2012; $675K reported sold to 11 investors).

What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside WILLIAM BRAUNER (6 shared filings) and JENNIFER BRENNAN (4 shared filings).

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around JAMES. Each name links to their own page.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 3 court cases matching the name, 8 bankruptcy cases matching the name listed in Key records below.

What this means 11 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 6 public filings for JAMES E. DUFFY and found 7 differences: 15% of the money raised went to insiders; JAMES E. DUFFY appears on 1 deal that stopped filing before reaching its target; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for JAMES E. DUFFY has not run yet — it is joining a line of 38,465 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

3 cases: 2 closed (disposition not in docket feed), 1 judgment

James Duffy v. Joseph Kowal closed
District Court, C.D. California · No. 8:19-cv-02265 · Filed Nov 20, 2019 · Closed Jan 28, 2020 · Nature of suit: Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of James Duffy: Plaintiff · Outcome: Terminated 2020-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
James Duffy v. Kenneth Apfel closed
District Court, C.D. California · No. 2:99-cv-07636 · Filed Jul 23, 1999 · Closed Dec 17, 1999 · Nature of suit: 863 D.I.W.C. / D.I.W.W.
Role of James Duffy: Plaintiff · Outcome: Terminated 1999-12-17 — FJC Integrated Database disposition: Remanded to U.S. agency Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
US v. DUFFY, JAMES P. judgment
District Court, N.D. California · No. · Filed May 26, 1988 · Closed Sep 19, 1988 · Nature of suit: 153 Recovery of overpayments of vet benefits
Role of DUFFY, JAMES P.: Defendant · Outcome: Terminated 1988-09-19 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched JAMES E. DUFFY..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

8 cases: 8 closed (disposition not in docket feed)

James H. Duffy closed
United States Bankruptcy Court, E.D. California · No. 10-93520 · Filed Sep 8, 2010 · Closed Jul 3, 2013
Role of James H. Duffy: Debtor · Outcome: Case closed 2013-07-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
James Duffy closed
United States Bankruptcy Court, E.D. California · No. 10-39306 · Filed Jul 22, 2010 · Closed Jun 1, 2012
Role of James Duffy: Debtor · Outcome: Case closed 2012-06-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
JAMES DUFFY closed
United States Bankruptcy Court, S.D. California · No. 10-12820 · Filed Jul 22, 2010 · Closed Oct 25, 2010
Role of JAMES DUFFY: Debtor · Outcome: Case closed 2010-10-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
James J Duffy and Leann D Duffy closed
United States Bankruptcy Court, C.D. California · No. 6:04-bk-17578 · Filed Jun 24, 2004 · Closed Oct 20, 2004
Role of James J Duffy and Leann D Duffy: Debtor · Outcome: Case closed 2004-10-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
James D. Duffy and Amelia P. Duffy closed
United States Bankruptcy Court, C.D. California · No. 8:96-bk-14666 · Filed Apr 23, 1996 · Closed Aug 28, 1996
Role of James D. Duffy and Amelia P. Duffy: Debtor · Outcome: Case closed 1996-08-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
James Duffy closed
United States Bankruptcy Court, C.D. California · No. 1:96-bk-12088 · Filed Feb 27, 1996 · Closed Jun 20, 1996
Role of James Duffy: Debtor · Outcome: Case closed 1996-06-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
James P Duffy closed
United States Bankruptcy Court, C.D. California · No. 1:90-bk-18093 · Filed Jul 23, 1990 · Closed Nov 9, 1992
Role of James P Duffy: Debtor · Outcome: Case closed 1992-11-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
James E. Duffy and Catherine M. Duffy closed
United States Bankruptcy Court, S.D. California · No. 89-09003 · Filed Nov 20, 1989 · Closed Mar 4, 1991
Role of James E. Duffy and Catherine M. Duffy: Debtor · Outcome: Case closed 1991-03-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 161 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

7 differences found between the filings for JAMES E. DUFFY (compared 6 filings on Oct 24, 2026)

Note · Apr 14, 2011

15% of the money raised went to insiders — STREAMWORKS PRODUCTS GROUP, INC.

The Apr 14, 2011 Form D reports $325,000 sold and $50,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "The officers in Item 3 have advanced funds to the Issuer, and may be repaid from general working capital, including offering proceeds, in the ordinary course of business.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Apr 14, 2011 ↗STREAMWORKS PRODUCTS GROUP, INC. — PartnerFacts page ↗
Sources
Note · Sep 21, 2012

JAMES E. DUFFY appears on 1 deal that stopped filing before reaching its target

STREAMWORKS PRODUCTS GROUP, INC. (last filing Sep 21, 2012; $675,000 sold of $4,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

STREAMWORKS PRODUCTS GROUP, INC. — PartnerFacts page ↗
Sources
Note · Sep 5, 2012 – Sep 21, 2012

Form D filed 16 days after the first sale — STREAMWORKS PRODUCTS GROUP, INC.

The filing says the first sale was Sep 5, 2012. The Form D was filed Sep 21, 2012 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Sep 21, 2012 ↗STREAMWORKS PRODUCTS GROUP, INC. — PartnerFacts page ↗
Sources
Note · Jan 25, 2010 – Sep 21, 2012

4 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — STREAMWORKS PRODUCTS GROUP, INC. (latest filing Sep 21, 2012) · No amendment in the last 12 months on an offering that may still be open — STREAMWORKS PRODUCTS GROUP, INC. (latest filing Sep 21, 2012) · No amendment in the last 12 months on an offering that may still be open — STREAMWORKS PRODUCTS GROUP, INC. (latest filing Oct 21, 2011) · No amendment in the last 12 months on an offering that may still be open — STREAMWORKS PRODUCTS GROUP, INC. (latest filing Mar 25, 2010)

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Sep 21, 2012 ↗STREAMWORKS PRODUCTS GROUP, INC. — PartnerFacts page ↗Form D · Sep 21, 2012 ↗Form D/A · Oct 21, 2011 ↗
Sources
Note · Apr 14, 2011 – Oct 21, 2011

Offering amount changed between filings — STREAMWORKS PRODUCTS GROUP, INC.

The Apr 14, 2011 filing says $500,000 offered; the Oct 21, 2011 Form D/A says $750,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Apr 14, 2011 ↗Form D/A (later) · Oct 21, 2011 ↗STREAMWORKS PRODUCTS GROUP, INC. — PartnerFacts page ↗
Sources
Note · Feb 4, 2010 – Sep 21, 2012

Industry group changed between filings — STREAMWORKS PRODUCTS GROUP, INC.

"Retailing" (Feb 4, 2010 to Oct 21, 2011); then "Manufacturing" (Sep 21, 2012 to Sep 21, 2012).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Feb 4, 2010 ↗Form D · Sep 21, 2012 ↗STREAMWORKS PRODUCTS GROUP, INC. — PartnerFacts page ↗
Sources
Note · Feb 18, 2022 – Jan 2, 2024

Same name, different state: "James Duffy" (NJ) is a separate record

This page covers filings where the address state is CA. A separate record, "James Duffy" with address state NJ, is listed on 3 filings — most recently by OUTSIDE BASIS INVESTORS, LLC (Jan 2, 2024). The two records do not overlap in time: this page runs Feb 4, 2010 to Sep 21, 2012; the other runs Feb 18, 2022 to Jan 2, 2024.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

James Duffy (NJ) — PartnerFacts page ↗Form D · Jan 2, 2024 ↗OUTSIDE BASIS INVESTORS, LLC — PartnerFacts page ↗JAMES E. DUFFY (CA) — this page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

2 of 4 offerings report sales commissions totalling $35,152; 0 report finder's fees; 1 reports proceeds to related persons totalling $50,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 21, 2012 D
STREAMWORKS PRODUCTS GROUP, INC.
File 021-184424
$12,250 (est.)$0$0 (est.)WUNDERLICH SECURITIES, INC. BrokerCheck CRD 2543 ↗EDGAR ↗
Sep 21, 2012 D
STREAMWORKS PRODUCTS GROUP, INC.
File 021-184425
$22,902 (est.)$0$0 (est.)WUNDERLICH SECURITIES, INC. BrokerCheck CRD 2543 ↗EDGAR ↗
Oct 21, 2011 D/A
STREAMWORKS PRODUCTS GROUP, INC.
File 021-158433
$0$0$50,000 (est.)
The officers in Item 3 have advanced funds to the Issuer, and may be repaid from general working capital, including offering proceeds, in the ordinary course of business.
None listed on this filingEDGAR ↗
Mar 25, 2010 D/A
STREAMWORKS PRODUCTS GROUP, INC.
File 021-117883
$0$0$0None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named James E. Duffy on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

SP
Manufacturing

STREAMWORKS PRODUCTS GROUP, INC.

Stockton, CA · Feb 4, 2010 → Sep 21, 2012 · 6 filings
  • Sep 21, 2012 · D · $625,000 sold of $4,000,000 · 4 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Sep 21, 2012 · D · $327,170 sold of $2,000,000 · 2 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Oct 21, 2011 · D/A · $675,000 sold of $750,000 · 11 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Apr 14, 2011 · D · $325,000 sold of $500,000 · 6 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Mar 25, 2010 · D/A · $570,000 sold of $3,570,000 · 10 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Feb 4, 2010 · D · $570,000 sold of $3,570,000 · 10 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $675K from 11 investors (17% of the $4M target) as of the latest filing. James is listed as executive officer, director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (2)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • James Duffy — NJ, 3 issuers, Feb 18, 2022 → Jan 2, 2024 · no shared issuer
  • James B. Duffy — CT, 1 issuer, Jun 25, 2009 → Jun 25, 2009 · no shared issuer

People around James 2

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

WB
No photo found yet (own website and image search run after this page is viewed)
Person

WILLIAM BRAUNER

Executive Officer, Director · 6 shared filings (1 issuer)

Listed on the same filings as James E. Duffy. Their page shows their other deals.

JB
No photo found yet (own website and image search run after this page is viewed)
Person

JENNIFER BRENNAN

Executive Officer, Director · 4 shared filings (1 issuer)

Listed on the same filings as James E. Duffy. Their page shows their other deals.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to JAMES E. DUFFY by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers James E. Duffy is listed on: none on file. No website or social profile named in STREAMWORKS PRODUCTS GROUP, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #337,162 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Stockton, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

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